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Thomas Walter Mitchell

Northwestern Mutual Investment Services, LLC

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About Thomas Walter Mitchell

Thomas Walter Mitchell is a financial professional with over 28 years of experience in the financial services industry. Thomas is currently registered with Northwestern Mutual Investment Services, LLC in Boston, MA and has been registered with FINRA and several state regulators throughout their career. Thomas holds a Series 6, Series 7, and Series 63 license. Thomas has been involved in investment management for over 28 years and has previously worked at Robert W. Baird & Co. Incorporated, MetLife Securities Inc. and Metropolitan Life Insurance Company.

Firm Information

Thomas Mitchell is currently registered with Northwestern Mutual Investment Services, LLC. Northwestern Mutual Investment Services, LLC is a Limited Liability Company formed in June 1998. Headquartered in Milwaukee, Wisconsin, the firm provides investment research and referrals to other advisors. They are registered with the SEC and in all 50 states. The firm has over 2,000 licensed agents, investment advisor representatives, and registered representatives.
Northwestern Mutual Investment Services, LLC

720 EAST WISCONSIN AVENUE

MILWAUKEE, WI 53202-4797

Not reported

Assets Under Management

1

Total Clients

10,224

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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investment research; referrals to other advisers

Investment research; referrals to other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Referral fees

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Thomas Mitchell’s Registration & Firm History

MA

01/24/1995 - Present

Northwestern Mutual Investment Services, LLC (BOSTON MA)

WI

01/24/1995 - 01/01/2002

ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)

MA

02/22/1994 - 10/19/1994

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/22/1994 - 10/19/1994

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/15/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/01/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/24/2001

Series 7 - General Securities Representative Examination

BC

Issued 02/18/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Walter Mitchell.
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